George W. Gowdey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George William Gowdey JR., who also goes by George William Gowdey Jr, George William Gowdey, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1982. George had worked at 25 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2016 - May 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2015 - May 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2014 - July 13, 2015
YOUNG AMERICA CAPITAL, LLC
August 1, 2013 - September 10, 2013
STONEX FINANCIAL INC.
March 19, 2013 - April 19, 2013
DIRECT ACCESS PARTNERS LLC
November 9, 2012 - February 5, 2013
AMERICAN FINANCIAL MANAGEMENT, LTD.
January 19, 2012 - September 10, 2012
ANTONETTI CAPITAL MANAGEMENT, LLC
September 13, 2011 - January 3, 2012
ALPHA STRATEGIES INVESTMENT CONSULTING
September 13, 2011 - January 4, 2012
ASCENDIANT SECURITIES, LLC
December 15, 2010 - September 9, 2011
1ST BRIDGEHOUSE SECURITIES, LLC
October 5, 2010 - November 12, 2010
ACCESSALPHA WORLDWIDE LLC
June 29, 2010 - September 14, 2010
SINCLAIR & COMPANY, LLC
April 10, 2009 - May 11, 2010
WYNVALE FINANCIAL DISTRIBUTORS LLC
May 18, 2007 - August 26, 2008
LOCKWOOD FINANCIAL SERVICES, INC.
April 27, 2007 - August 26, 2008
PERSHING LLC
May 18, 2006 - May 3, 2007
WYNVALE FINANCIAL DISTRIBUTORS LLC
March 29, 2005 - May 8, 2007
POTOMAC CAPITAL MARKETS, LLC
May 6, 2004 - March 14, 2005
KEVIN DANN & PARTNERS, LLC
April 21, 1995 - September 22, 1999
TWENTY-FIRST SECURITIES CORPORATION
August 27, 1993 - September 30, 1994
ABN AMRO SECURITIES LLC
June 21, 1993 - September 30, 1994
ABN AMRO SECURITIES LLC
April 1, 1992 - November 9, 1992
CIBC WORLD MARKETS CORP.
May 22, 1991 - March 23, 1992
SCHRODER & CO. INC.
January 19, 1990 - May 23, 1991
J.P. MORGAN SECURITIES INC.
May 17, 1988 - July 26, 1988
TUCKER ANTHONY INCORPORATED
August 7, 1986 - April 12, 1988
SBC WARBURG DILLON READ INC.
November 30, 1982 - July 24, 1986
CITIGROUP GLOBAL MARKETS INC.
November 15, 1982 - November 30, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
